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Dodd-Frank

MSRB Provides Guidance on Developing Supervision and Compliance Programs for Municipal Advisors

by   |   June 17, 2015

Rule G-44 of the Municipal Securities Rulemaking Board, or MSRB, became effective on April 23, 2015. That Rule establishes the supervisory and compliance obligations of municipal advisors.

The MSRB has provided an educational document designed to support municipal advisors’ development of effective policies and procedures for supervision and compliance, particularly for municipal advisors that are newly subject to regulatory oversight. You can find the publication here.

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